Principal Adviser, Participant Management, Investigations

When you join ASX youre joining a company with a strong purpose to power a stronger economic future by enabling a fair and dynamic marketplace for all.

In your new role youll be part of a leading global securities exchange with a strong brand. We are known for being a trusted market operator and an exciting data hub.

Want to know why we are a great place to work click on the link to learn more.

are more than a securities exchange!

The ASX team brings together talented people from a diverse range of disciplines.

We run critical market infrastructure with 1 in 3 people employed within technology. Yet we have a unique complexity of roles across a range of disciplines such as operations program delivery financial products investor engagement risk and compliance.

Were proud to foster a workplace where diversity is celebrated and inclusion is part of our everyday culture. Our employee-led networks champion LGBTIQ inclusion promote gender equality accessibility and wellbeing inspire giving and volunteering and celebrate cultural and religious events creating a sense of belonging for all. As an AWEI Bronze employer and member of the Champions of Change Coalition for gender equality were committed to a fair and inclusive workplace where everyone can thrive.

Participant Supervision is a specialist function established by ASX to monitor and enforce compliance with the ASX Group Operating Rules by participants and plays a key role in ensuring ASX meets its licence obligations.

The Participant Supervision team is responsible for participant admissions ongoing monitoring investigations into potential non-compliance and proactive supervision activities designed to identify and address emerging risks.

The team is structured across three specialised areasAdmission &

Monitoring Participant Transitions and Participant Insightseach focusing on distinct stages of the participant lifecycle and aspects of ongoing compliance oversight.

This role supports participant supervision activities through the investigation of participant conduct assessment of potential rule breaches analysis of participant risk and delivery of evidence-based supervision this role as Senior Adviser (Investigations) you will contribute to the work of the Participants Supervision team by:

• Managing participant supervision activities and supporting ongoing participant relationships:

• Acting as a key point of contact for allocated participants on supervision and compliance matters.

• Maintaining constructive risk-aware engagement with participants.

• Conducting participant investigations and compliance reviews including but not limited to:

• Reviewing allegations complaints referrals and self-reported breaches of the ASX Operating Rules.

• Gathering analysing and assessing information and evidence to establish relevant facts and circumstances.

• Investigating potential instances of non-compliance with the ASX Operating Rules and Procedures.

• Preparing clear evidence-based investigation reports findings and recommendations.

• Identifying escalating and supporting the resolution of potential breaches of the Operating Rules.

• Maintaining objective professional and procedurally fair engagement with participants throughout investigations.

• Reviewing notifications disclosures submissions and requests for relief:

• Evaluating periodic and ad hoc filings for compliance with ASX Operating Rule requirements.

• Assessing applications for waivers and relief from Operating Rule obligations.

• Reviewing ongoing participant obligations and regulatory submissions.

• Preparing case reports investigation outcomes and management information in a timely manner.

• Maintaining accurate records of supervision monitoring and investigation activities.

• Contributing to periodic reporting on participant compliance outcomes and emerging risks.

• Driving participant compliance and accountability

• Supporting participants in addressing identified compliance issues.

• Monitoring remediation activities and implementation of corrective actions.

• Promoting compliance with the ASX Operating Rules and Participant Supervision framework.

• Supporting policy process improvement and strategic initiatives

• Assisting in enhancing and maintaining participant supervision processes case management practices and reporting frameworks.

• Contributing to supervision-led projects regulatory change initiatives and continuous improvement activities.

• Supporting the delivery of strategic compliance initiatives.

• Supporting participant education and engagement

• Contributing to educational activities that assist participants in understanding and meeting their obligations.

• Sharing knowledge and regulatory insights with participants and internal stakeholders.

• Contributing to the development of guidance materials and supervision communications.

• Delivering capability uplift and knowledge sharing

• Contributing to knowledge sharing across the Participant Supervision team.

• Supporting cross-training activities to ensure appropriate coverage across the team.

• Assisting in developing technical knowledge and supervision capability within the team.

• Undertaking other duties as required.

Must have:

• A tertiary qualification in law accounting finance business economics or related disciplines

• At least 7 years relevant industry or professional experience

• Good understanding of Australias financial markets and operations or international comparative covering equities derivatives OTC clearing and settlement

• Practical knowledge of the competencies required to operate in the ASX markets and clearing and settlement facilities (or international comparison)

• Practical knowledge of compliance and risk methodologies

• Highly developed analytical investigative and problem-solving abilities

• Exceptional verbal written presentation and communication skills

• Able to manage the pressure of urgent matters and competing priorities

• An enquiring mind and the determination to push back when information or explanations provided by participants appear inadequate

• Agile Adaptable & Resilient able to manage change and be positive

• Objectivity and fairness

• An eye for detail and a concern for quality

We make hiring decisions based on your skills capabilities and experience and how youll help us to live our values. We encourage you to apply even if you dont meet all the criteria of this role.

If you need any adjustments during the application or interview process to help you present your best self please let us know at

At ASX Group our diverse workforce is essential to build and maintain a fair and dynamic marketplace. We support flexible working and offer hybrid working options. Even if our roles are advertised as full-time we encourage you to apply if you are interested in part-time or other flexible working arrangements.

We will arrange for successful candidates to have background checks including reference and police checks completed as part of the on-boarding process.

To be considered for this position candidates must be legally authorised to work in Australia on a permanent basis without any restrictions.